Broker-Dealers Articles

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Pershing Launches Retirement Plan Network

by FA Staff

The new platform’s resources are intended to help advisors achieve better retirement outcomes for retirement plan sponsors and plan participants.

Under Dwyer, The Invest In Others Charity Expands Its Reach

by FA Staff

The efforts Of Bill Dwyer and several heart-rending stories are elevating the profile of Invest In Others, a charitable foundation that recognizes advisors' philanthropy.

RJF Reports Quarterly Results


Raymond James Financial Inc. said its fiscal first-quarter revenues totaled $1.25 billion, up 6 percent from last year, but down 3 percent from the previous quarter due to a seasonal slowdown.

Morgan Stanley To Pay Smaller Proportion Of Revenue In Bonuses


Wall Street powerhouse Morgan Stanley said it would pay a smaller portion of revenue in bonuses to investment bankers and traders this year even in a better revenue environment.

Getting Your Message Across

by Eleanor O'Sullivan

A new book offers many practical steps to financial advisors on how to increase their business, says our reviewer.

Finra To Focus On Abusive Sales Practices With Alt Investments


Finra is targeting potential abusive sales practices in alternative mutual funds, securities-backed lines of credit, floating-rate bank loan funds and exchange-traded products.

White House Pressures DOL For Fiduciary Rule, Says Schwab Lobbyist


The White House is pressuring the federal Department of Labor to come up with a fiduciary rule for financial advisors who give advice to retirement plan participants, says a Charles Schwab & Co...

Finra To Target Smart-Beta ETFs In 2015 B-D Exams


Sales of smart beta funds, the fastest-growing segment of the ETF market, are among the issues that Wall Street's private watchdog will review in its 2015 examinations of U.S. brokerages.

Morgan Stanley Fires Employee Accused Of Stealing Client Data


Morgan Stanley fired an employee it said stole data, including account numbers, for as many as 350,000 wealth-management clients and posted some of the information online.

Taking Clients To Your New Firm Can Be Very Tricky


When you leave a firm to start your own or join another, how much can you do to recruit the clients at your current firm to come with you?

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